Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Investment Advisers

SEC Identifies Most Frequent Compliance Issues Associated with Advertising by Investment Advisers

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Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations has provided a list of compliance issues relating to Rule 206(4)-1, which is referred to as the Advertising Rule, under the Investment Advisers Act of 1940. In general, the Advertising Rule prohibits an adviser, directly or indirectly, from publishing, circulating, or distributing any advertisement that contains any […] Read more →

by   |   September 14, 2017

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SEC Charges Chief Compliance Officer for Failure to Verify Information

Investment Advisers, Litigation David I. Osunkwo was a principal at Strategic Consulting Advisors, LLC, or SC Consulting. SC Consulting offered compliance consulting and CCO services to two SEC registered... Read more →

by   |   August 16, 2017

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters... Read more →

by   |   February 8, 2017

Trump Requires DOL to Reevaluate the Fiduciary Rule

Broker-Dealer, Investment Advisers, Trump Under current law, stockbrokers are only required to recommend suitable investments to their clients. The Department of Labor has issued a so called “fiduciary rule”... Read more →

by   |   February 3, 2017